Academic scoping study An independent report prepared for The National Archives by DJS Research Ltd and Elizabeth Oxborrow-Cowan

March 2016 Contents

01. Executive Summary ...................................................................................................... 3
02. Background ................................................................................................................... 5 2.1. Research context ..................................................................................................... 5 2.2. Research objectives ............................................................................................... 5 2.3. Research methodology .......................................................................................... 6 2.3.1. Qualitative research ....................................................................................... 6 2.3.2. Quantitative research .................................................................................... 7
03. Scoping the academic landscape ................................................................................... 8 3.1. Key challenges and changes .................................................................................. 8 3.2. Funding .................................................................................................................. 8 3.3. Developing trends .................................................................................................. 9 3.4. Digitisation ........................................................................................................... 10 3.5. Challenges for IROs ............................................................................................. 10
04. Understanding “reputation” in the academic and research community ....................... 12 4.1. Drivers for strong reputation in research ............................................................... 12 4.2. What is needed to meet the key drivers? ............................................................... 14 4.3. Organisations currently meeting the reputational criteria ..................................... 14
05. Identifying The National Archives’ current reputation within the community .......... 16 5.1. The National Archives’ unique selling point ......................................................... 16 5.2. Research reputation and visibility of research ...................................................... 17
06. Establishing the community’s requirements of The National Archives ..................... 19 6.1. Reputation for research vs. service provision ....................................................... 19 6.2. Important areas for research ................................................................................ 21 6.3. Important areas to improve offer to academic community ................................... 22
07. Responding to the community’s needs ........................................................................ 23 7.1. Potential barriers to research aspirations .............................................................. 23 7.2. Achieving research aspirations ............................................................................. 24
08. How does The National Archives compare with other national archives? ............... 28 8.1. Service provision and research ............................................................................ 28 8.2. Challenges and needs ........................................................................................... 29 8.3. The National Archives compared to international archives .................................. 29
09. Conclusions and recommendations ............................................................................ 31 9.1. Conclusions .......................................................................................................... 31 9.2. Final recommendations ....................................................................................... 32
10. Appendix .................................................................................................................... 34 10.1. Questionnaire ..................................................................................................... 34
11. Executive Summary

Background

The National Archives (TNA) aims to expand its national and international reputation for pioneering research in line with its status as an independent research organisation (IRO). It also wishes to leverage its current research reputation to develop funding success. Therefore research was required to contextualise and inform strategic aspirations, focussing on the changing needs of the academic sector and to scope the current research landscape and TNA’s reputation. Research within the academic and research communities was conducted to help TNA understand what the community thinks of TNA’s reputation in these areas.

Key changes and challenges

The research landscape is in a state of flux, with some uncertainty about its future outlook. Research funding, digitisation, the available time and resource within IROs to conduct research and cross-discipline research collaborations are identified by the academic and research community as key changes and challenges facing the sector.

Factors leading to a strong reputation for research and TNA’s current reputation

Organisations that benefit from coherent, strategic impetus for research, allocating time and expertise to research activity on its own collections tend to be held in the highest esteem for research by the academic and research community. The National Archives’ reputation as a leading advocate for the archives sector and as a fantastic service provider is undoubted. The collections and services provided are identified as TNA’s unique selling point. However, its current reputation in the research sphere is less convincing. Those who engage with TNA more regularly are confident that TNA is conducting some intellectually stimulating research, but it is considered to be under-promoted. Few participants can recall specific examples of TNA research projects, while the organisation’s public engagement work can overshadow the more rigorous academic research carried out.

The community’s requirements of TNA

The National Archives’ primary role is considered to be providing access to its collections and archives, and leading the archives sector, which it is currently highly regarded for. Participants felt that research activity should serve to maximise TNA’s fulfilment of this role by researching into The National Archives’ own collections to strengthen its knowledge and expertise in its specialist area, and into archival methodologies such as digitisation, navigation, conservation and preservation.

How TNA can respond to the needs

In order to respond to the community’s needs, The National Archives must first continue to fulfil its remit as the public service provider, before defining a clear and consistent strategy to increase the potential for, and visibility of, its research. This includes optimising its archival service provision by continuing to progress digitisation and cataloguing, maximising its other services by providing further archival training and more research and collaboration. opportunities, and attending and leading academic conferences or publishing its own journal to improve the visibility of its research programme. Other factors such as making clear distinctions between its academic research and its public engagement work would also be valuable in strengthening TNA’s reputation for conducting research. A clear and strategic impetus for research also underpins these.

**International reputation**

The research also included a number of case study interviews with national archives in other countries. These national archives (international archives) also want to engage more with academic and research communities but face many of the same challenges that The National Archives faces in the UK. They also share a similarly strong reputation for service provision and the quality of their collections, but if anything, these international archives are further behind The National Archives in terms of research, as they lack a clear research strategy and impetus. 2. Background

2.1. Research context

The National Archives (TNA) aims to expand its national and international reputation for pioneering research in line with its status as an independent research organisation (IRO). It also wishes to leverage its current research reputation to develop funding success. Therefore research is required to contextualise and inform strategic aspirations, elucidating two core areas: the changing needs of the academic sector and to scope the current research landscape and TNA’s reputation.

This research has been undertaken by DJS Research in conjunction with Elizabeth Oxborrow-Cowan (Consultant Archivist). DJS Research are an independent market research company and provide an independent view of the key issues and challenges affecting the academic and research community.

2.2. Research objectives

Specifically there are two core research objectives:

Understand the changing needs of the academic and research sectors

- Assess the challenges and needs of the sector
- Survey and assess TNA’s current offer
- Understand what services and communications the academic and research community needs and wants
- Assess how well equipped TNA is in terms of resources and skills to meet these needs
- To make recommendations around what TNA could offer
- To identify how such offers could support TNA’s business and research strategies

Scope the research landscape and The National Archives’ reputation

- Provide an overview of the national and international research landscape and key challenges in terms of disciplinary areas and issues relating to TNA’s stakeholders and audiences
- To provide recommendations for realistic aspirations for reputational growth and how to meet these aspirations 2.3. Research methodology

A multi-phase research methodology was implemented, involving qualitative research through depth interviews and a group discussion, followed by quantitative research via an online survey. The core phases were informed by an initial process of internal consultation with TNA staff and representatives who are currently involved in research within the organisation.

2.3.1. Qualitative research

The qualitative phase included tele-depth interviews with key audiences across the academic and research community: staff at other organisations, academics and PhD research students, as well as international archives. A focus group discussion was also conducted with members of the Higher Education Archive Programme (HEAP). HEAP is part of The National Archives’ continuing programme of engagement and support with archival constituencies. Members of HEAP include representatives from archives and special collections within higher education institutions.

| Sector | Tele-depth interviews (45 minutes) | Focus Group (1 hour 30 minutes) | |-----------------------|-----------------------------------|---------------------------------| | Organisations | 12 | | | Academics | 11 | | | Research Students | 11 | | | International archives| 3 | | | HEAP | | 1 | | **Total** | **37 interviews** | **1 Group** | 2.3.2. Quantitative research

The quantitative research phase included 313 participants across a broad range of organisation types and research specialisms. Participants were predominantly academics or research students, and 298 of the 313 participants conduct research as part of their role. These 298 were asked which field they specialise in, with the majority specialising in humanities. Participants were based across the UK and the world. The online survey was developed by DJS Research in partnership with The National Archives. The survey was emailed to thousands of contacts within the sector and also positioned on The National Archives’ website.

| Role | 313 participants | |----------------------------------------------------------------------|------------------| | Academic (HE 113, Independent Research Organisation 6, independent / scholarly researcher 67) | 186 | | Research student (Postgrad 79, undergrad 1) | 80 | | Organisation (culture/heritage 9, supports research communities 4, represents portions of community 4) | 17 | | Archivist | 13 | | Other | 17 |

| Specialisms | 298 participants | |----------------------------------|------------------| | Humanities | 233 | | Archive and heritage science | 36 | | Digital humanities | 32 | | Social science | 30 | | Information studies | 16 | | Law and legal studies | 16 | | Digital preservation | 15 | | Education | 12 | | Other | 29 |

| Region | 313 participants | |----------------------------------|------------------| | South East | 58 | | London | 52 | | Yorkshire and Humber | 33 | | South West | 29 | | West Midlands | 20 | | East Midlands | 18 | | North West | 17 | | Scotland | 10 | | Wales | 10 | | North East | 6 | | Northern Ireland | 5 | | Outside of UK | 53 | | Prefer not to say | 2 | 3. Scoping the academic landscape

Participants in both the qualitative and quantitative research were asked what they feel are the major recent changes and key challenges that face the academic and research community in the next 5 years, and asked their view on the amount of research that will likely be conducted in the near future.

Broadly, the community did feel that the research landscape is facing significant challenges, and is in a state of flux, with some uncertainty about its future outlook. Questions over research funding and the importance of digitisation were prominent themes across the community.

3.1. Key challenges and changes

Although only around a fifth of participants fear that less research will be conducted over the next five years the research landscape is mired in uncertainty. When asked what they feel the main challenges and changes are that the academic and research communities might face over the next five years, over half of the participants are concerned by funding, while a third feel digitisation is a major trend. A range of key changes and challenges are identified as follows:

- 56% Funding
- 32% Digitisation
- 18% Staffing
- 17% Resource
- 17% Research Excellence Framework (REF) / Impact
- 14% Access to data
- 10% Teaching Excellence Framework (TEF)
- 5% Collaboration / interdisciplinarity

Base: All participants n=313. This was an unprompted, open question.

3.2. Funding

Funding is clearly a priority issue, but has different implications across the community.

Organisations

Public organisations of all shapes and sizes are experiencing cuts which is affecting their ability to conduct research. Furthermore, the terms for acquiring funding, especially for research are increasingly demanding and cause some frustration among organisations. There is concern that this will translate to a loss of independence. The requirements of research councils mean that academics frequently approach organisations such as museums to bid for funding, but this leads to challenges for the organisations (larger number of enquiries can increase workloads). Organisations are finding that they therefore have to be more scrupulous regarding involvement in collaborations and research, in order to ensure their focus remains on their own priorities.

**Academics**

For academics, the funding squeeze translates into increased competition for research funding, with particular sensitivity to the growing number of organisations pursuing funding streams. Many feel that academic freedom and integrity is threatened by the need to adopt an ever more competitive and “commercial” approach to research. They fear that research will be dictated by where the funds are available, rather than the funding supporting original, highly intellectual topics. A further concern is the growing sense that it is increasingly difficult to have a research career without external funding, though since the rise in tuition fees, more research is being conducted using internal funding. This has its own challenges, as academics feel a pressure to provide more research opportunities for PhD students, and provide a sense that the fees are worthwhile.

**Research students**

Research students face intense competition for PhD funding, in a sector where faculty posts and careers in academia are increasingly scarce. Some identify this context as contributing to the reduction in those choosing to continue to Masters and PhD level education, in addition to the introduction of fees for undergraduate study. There is also concern among students that funding cuts within the culture and heritage sector will lead to less cataloguing and recording of material, leading to difficulties in actually carrying out their research and accessing relevant records. Geographical location also plays a part in research students’ concerns; those students who live more remotely, or further away from London feel they require more generous funding such as that provided by research councils if they are to spend time travelling to London to access archives.

**3.3. Developing trends**

Despite issues such as funding squeezes, the research and academic community does show excitement at developing trends in research, and largely embraces the push for more collaboration, interdisciplinarity and demonstrating impact (for example for evaluation within the Research Excellence Framework).

Though received positively, emerging trends demand new skills, processes and relationships, so can be difficult to implement practically as inevitably it can take time to adapt to these changing issues:

- Funding councils and other funders encourage collaborations to gain funding but the ‘gold standard’ output is still considered to be the monograph. Academics, therefore, must balance two contradictory requirements, and some still prefer to work alone.

- Collaborations and demonstrating impact are considered to be more difficult in the Arts and Humanities disciplines, and traditionally more suited to sciences. Furthermore, the research found that there is a traditional lack of inter-department communication in academic institutions making cross-discipline work difficult.

- Within the Arts and Humanities area, some disciplines were also felt to be easier to demonstrate impact with (a key requirement of the REF). Academics are increasingly looking towards organisations for help with exhibitions, which is an increasingly popular method of helping to demonstrate impact for the REF. Organisations will sometimes only take on exhibitions which they feel will be of interest to the public, which can mean that this route to help demonstrate impact is more difficult for some academics than others, depending on the focus of their research and how appealing it may be to the public.

- Many academics view the REF’s requirements to be a good idea in principle, but the REF is seen to be overly bureaucratic in nature.

### 3.4. Digitisation

Digitisation is a key theme on the minds of academics especially, who approach the trend with optimistic caution. Whilst the benefits of remote and democratic access to collections are perceived, some frustrations around the practicalities of online catalogues, as well as concerns about the attrition of archival skill and integrity remain.

Digitisation and born-digital records are currently “buzz-words” among the academic community and seen as a major trend for the future. However, there is uncertainty about what this means in practice and around the ethics associated with using digital records. Both academics and research students urge for greater, free access to records online to remove financial and geographical barriers to accessing resources. Digitisation is seen as a way to achieve this.

There is also concern over the dangers of digitisation; as digital records become more prolific, academics fear this could lead to a decrease in archival and academic expertise and a dismissal of the wealth of the physical material available.

### 3.5. Challenges for IROs

Those in organisations reflect on similar challenges to participants in higher education, but also face distinct frustrations linked to the nature of their institutions. Staff at organisations usually have less time and resource to devote to research, for which it can be difficult to achieve strategic buy-in.

- **Less time to conduct research** – With public facing duties and lack of staffing / funding resources, IROs often do not have adequate time to conduct the desired research. Academics who wish to partner with IROs to launch bids for research funding recognise and understand this but it can cause frustration during collaborations.

- **No tangible output** – linked to the REF requirements, there is a sense that the impact of research outputs among organisations is not very measurable, and the purpose behind the research is not visible. • **Insufficient internal infrastructure and impetus for research** – The feeling exists among academics that IROs can sometimes lack the impetus and backing to carry collaborations forward, as well as lacking a consistent strategy. There is also a dependence on a relationship with individuals who may leave at any time. There can be a lack of coherency around what an IRO can / cannot do when it comes to research.

4. Understanding “reputation” in the academic and research community

In this section, participants were asked to identify organisations that they feel have strong reputations for conducting research, first unprompted, and then after being shown a prompted list. They were also asked to rate the importance of various factors that may contribute to a strong reputation for research such as the collections held, visibility of research outputs and strong collaborative partnerships.

Organisations that benefit from coherent, strategic impetus for research, allocating time and expertise to research activity on its own collections tend to be held in the highest esteem for research.

4.1. Drivers for strong reputation in research

The key ingredients driving an excellent research reputation are perceived by the community to include a strategic focus on a defined area of expertise, as well as to allow the time to conduct research. Collaborative partnerships, especially with universities, and the visibility of research and dissemination of outputs are also crucial.

Respondents were shown a range of factors identified from the qualitative research, and were asked how important each were in driving a strong reputation for research. The chart below shows that nearly three quarters of the online survey participants see the fact that staff having time to conduct research is the key driver for a strong reputation.

Respondents were also asked to identify non-academic organisations that had a strong reputation for research and to articulate why they felt these organisations had a strong reputation. This question was unprompted, but found similar themes in terms of why these organisations had strong reputations. Almost three quarters also believe that the organisations they currently view as having a strong reputation have that reputation because they conduct research into a specialist, defined area. Over half say that the collections held are also a key driver for a strong reputation. The community considers strategic specialism in defined areas of expertise, as well as ongoing research into held collections (to demonstrate knowledge of holdings), to be key characteristics of those organisations with excellent reputations for research.

- **Specialist research into defined areas / strategic impetus** - The Joseph Rowntree Foundation was prominent among the organisations identified in the research as having a strong research reputation due to the fact that it has always had a consistent area of expertise, and remained focussed on its founding ethos despite trends.

- **Knowledge of, and research into, own collections** - Time spent researching into the organisations’ own collections so that staff gain an in-depth knowledge of their own records is seen as crucial by academics looking to use the collections and partner with organisations. It is often not enough to just hold a valuable collection. Organisations with limited knowledge of its own collections are identified as having lower reputations for research. This is often seen as easier for museums because the curatorial role is traditionally associated with research, but not as easy for IROs that are not museums. 4.2. What is needed to meet the key drivers?

In order to facilitate coherent research programmes into defined areas of expertise and held collections, organisations must have dedicated research staff, who have sufficient time to conduct or facilitate research, in addition to other duties. Accordingly, staff reputation for research is also an important factor.

- **Time and availability of staff** - Time for staff to conduct research among all their other duties is linked to funding. Organisations that have the resource to allow staff more time to conduct research are perceived to have a better reputation in this area. A lack of time for research can be damaging to organisational reputations. An anonymous organisation was referred to in the qualitative research as being disappointing during a collaboration because the staff did not have the time to follow the necessary process of academic rigour. The resulting outputs appeared rushed and at a lower standard to what was expected.

- **Reputations of individual staff** - The perceived calibre of researchers does seem to add to the reputation of an organisation for research.

- **Universities understand this situation** - Universities are aware that non-academic organisations struggle to resource research, but though understanding, it can cause frustration during collaborations.

4.3. Organisations currently meeting the reputational criteria

Organisations that appear to be fulfilling the identified criteria for reputational excellence and are highly regarded for research include leading museums, libraries and charitable foundations. Most think The National Archives has a good reputation, but fewer think it has a very good reputation.

One organisation that was rated highly for its reputation for conducting research is known for its financial clout and ability to fund lots of research. The research itself is very visible across the academic and research community.

Another highly regarded institution was also mentioned many times throughout the qualitative and quantitative research because it is good at engaging with academics, and again, has great visibility. This organisation researches into its own collections to improve its internal knowledge, while attracting academics with schemes on digitisation and digital history.

Leading museums are considered to have exceptional research reputations because they have a number of staff and curators who are research-active; they have a lot of time to conduct research as part of their job. Those who responded to the online survey were asked how they would rate the reputations of a number of Independent Research Organisations for conducting research (Very good, good, poor, very poor). Though over two thirds consider The National Archives to have a good / very good reputation for research in total (73%), just two fifths feel it has a very good reputation (40%). Therefore The National Archives definitely has room for improvement in this area. The proportion feeling that The National Archives’ reputation was good / very good compared well with many of the other organisations asked about in the research. However, the proportion feeling that its reputation was ‘very good’ was much lower than many. For example, one IRO rated received a score of 84% in total for reputation for conducting research and 70% felt its reputation was ‘very good’.

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1 Q18. How would you rate the reputation of each of the following organisations? Base: All participants aware that The National Archives conducts research, n=214

2 The names and scores for other organisations mentioned have been removed to protect their identity 5. Identifying The National Archives’ current reputation within the community

This section covers the current perceived reputation of The National Archives’ within the academic and research community, for both its collections and services, and its reputation for conducting research. For example, participants were asked to identify any specific research projects they are aware of being conducted by TNA, asked about any experiences they have when collaborating with TNA on research, what they feel is the unique selling point of TNA and their experiences of engaging with the services provided.

The National Archives’ reputation as a leading advocate for the archives sector and as a fantastic service provider is undoubted. However, its current reputation in the research sphere is less convincing.

5.1. The National Archives’ unique selling point

For the academic and research community, The National Archives’ reputation as the representative body for the archive sector is undisputed. It not only provides excellent access to, and experiences of, the unique collections it holds, but has also been pivotal in driving the sector towards digitisation and innovation.

The unique selling point of The National Archives is seen to be the collections it holds and the services it provides to the academic community. This was the overwhelming theme across the qualitative research with academics, research students and representatives from other organisations. The National Archives is seen as the place to go for historians in particular, and is world-renowned for the government records it holds and other unique collections.

Nearly all participants (94%) who have used The National Archives’ resources for their own research have had a good or very good experience. The cataloguing and archiving skills, as well as staff knowledge of the records is highly regarded, which contributes to the sense that visiting Kew and using the collections for academic research is a positive experience.

In addition to the collections and services, The National Archives is seen to be a leader in the archive sector, and at the forefront of digitisation to make History more accessible, and conservation science.

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3 Q29. Overall, how would you describe your experience of using The National Archives’ resources to conduct research?

Base: All who have used TNA resources for their own research, n=231 Strong reputation for collections and services can be a potential barrier

Such is the reputation for archival excellence, that it generates a sense of mysterious remoteness that can be intimidating for some early career researchers and even some professionals. Once researchers engage with The National Archives however, this barrier is usually overcome.

The strong reputation as the leader in the field and its location in London can lead to early researchers feeling daunted by the prospect of visiting Kew, and to uncertainty when needing to access records. The National Archives can be seen as intimidating “keepers of the knowledge” and can have a certain remoteness and mystique.

However, once people engage with The National Archives, it is considered a welcoming organisation with helpful and approachable staff. The website does provide clear descriptions and instructions on how to use the archive service, once the correct section is identified. These experiences can help alleviate the initial concerns.

Concerns about TNA’s catalogue, Discovery were raised, and some academics felt that it was difficult to use. Others felt that it was an excellent source. The purpose of the research was not to delve into detail on this, but some did feel that difficulties in searching for information on Discovery could impede a researcher’s progress.

Among those who have used the services, The National Archives are frequently cited as a more welcoming organisation than others, and the fact that researchers can handle their documents is viewed positively. Some other organisations can seem reluctant to help researchers to access materials, and are overly-protective of their physical records.

5.2. Research reputation and visibility of research

Unprompted awareness that The National Archives conducts research is very low. Respondents were asked to indicate which organisations outside of the HE sector they would strongly associate with conducting research. Only 4% of the 313 people who responded to the online survey mentioned that they strongly associated The National Archives with conducting research without prompting.

We did go on to prompt respondents with a range of organisations to understand which of these respondents felt conduct research. 68% of the 313 participants indicated that they were aware that The National Archives conducts research. Stated, prompted awareness of The National Archives conducting research is akin to other organisations included in the research (Responses ranged from 70% to 35%). However, nearly half of those aware that The National Archives conducts research (48% of the 214 aware) cannot recall any specific examples of research. Of the research mentioned, the vast majority reference the recent work on the First World War or the Second World War, slavery and the Magna Carta, which appears unexciting for some academics. Visibility and awareness

Indeed, visibility and awareness of The National Archives’ research activity would appear poor amongst those who are not engaged in it. Even those who are aware of the organisations’ research consider it to be poorly promoted.

There is very little awareness among academics and research students who are not engaged with The National Archives that The National Archives conducts research. Those who are engaged have mixed views; most only became aware of The National Archives’ research when they themselves became more involved in research partnerships, using services or in Collaborative Doctoral Partnerships.

Among those who do know about The National Archives’ research, there is a sense that this research is patchy. The organisation is known for expertise in areas such as digital preservation, conservation, digitisation, medieval government, and family history research, but it is not as good in other areas. However, even those who feel The National Archives do conduct good research say that this is under-promoted. It was felt that other organisations have a greater ability to promote their work to the academic community. Several participants stated that they are aware of research conducted by other organisations even though it is less interesting to them than what The National Archives is involved in.

Experience collaborating on research

Those who are actively engaged with The National Archives’ research activity, recognise a shift in strategic focus to favour research, but some still do not always have positive experiences practically because of limited staff time and availability.

The academic community believe that The National Archives’ strategy regarding research has been inconsistent in the past; some feel the position has changed too often.

While the current work is viewed positively by those in the know, it is felt that The National Archives still appears to lack the senior buy-in and resource to conduct research in the eyes of some. The active research team is currently considered too small to have a major impact.

There have been some instances where collaborations with The National Archives have been troublesome for academics in a practical sense. This has revolved around financial issues of invoicing, and the need to rely on particular individuals who may not be given full backing by senior management. As a result of this, the individuals involved lacked the time needed to fully participate in the research, and academics became concerned about overloading them. 6. Establishing the community’s requirements of The National Archives

This section identifies what the academic and research community feel The National Archives’ priority focus should be. Those who felt it is important for TNA to conduct research were also asked what areas of research they feel should be prioritised, while we explored what TNA could do to maximise its engagement with and offer to the academic and research community.

The National Archives’ primary role is considered to be providing access to its collections and archives, and leading the archives sector. Research activity should serve to maximise their fulfilment of this role.

6.1. Reputation for research vs. service provision

The academic and research community looks to The National Archives to provide basic service and solution provision, for which it already has a remarkable reputation. Most also believe there is scope for The National Archives to conduct more independent research into its own collections and methodological research. However, The National Archives should be cautious when considering research into broader issues and subject areas. The Academic and research community considers The National Archives’ continuing, primary remit to be as a service provider for access to its collections, as well as being the leading body for the archival sector through expertise and training. The National Archives’ role as an independent research organisation appears less critical.

The following chart highlights that nine in ten participants of the online survey think it is very important for The National Archives to focus on providing access to collections and archives. This is clearly seen as the organisation’s primary remit. Providing access to staff expertise and training are also important. Only a third feel it is very important to conduct research as an IRO into the collections it holds.

Q24. Archives Inspire, TNA’s business plan, identifies the academic and research communities as core audiences. Please indicate to what extent you feel the following are important for TNA to focus on, given its aim of strengthening its relationship with these communities.

Base: All participants n=313 6.2. Important areas for research

Those who think it is important for The National Archives to conduct research would prioritise continued exploration of innovative archival methodologies, such as digitisation and navigation in the first instance, followed by research to build knowledge of the organisation’s own collections and holdings.

**Important areas to research**

- New ways of navigating and exploring archival collections: 72%
- Management and preservation of holdings in the digital age: 63%
- Content of TNA’s holdings: 62%
- To place its collections within their wider historical and scientific context: 57%
- Materiality of its collections in order to better understand production of archival documents: 41%
- Wider archival / methodological issues: 33%
- Research Data Management: 22%
- Areas of data science: 20%
- Dissemination and impact of research: 18%
- Wider issues in other related disciplines: 15%
- Other: 6%
- Don’t know: 6%

Q25. Are there particular areas of research that you would like to see TNA focus its research on?

Base: All participants who believe research as an IRO is important n=234 6.3. Important areas to improve offer to academic community

In terms of improving the service offer to the academic and research community, continuously improving access to archives is by far the most important way in which The National Archives can help. In its role as sector lead, archival training is also important. Improving awareness of the potential for collaboration and of the research it conducts would also improve its offer.

Areas to improve offer to academic and research community

| Area | % Participants | |----------------------------------------------------------------------|----------------| | Providing better access to original records no matter where people are geographically | 73 | | Providing more training to help people understand what TNA holds and how to access it | 41 | | Getting involved in more research partnerships and collaborations | 40 | | Increasing visibility of research they conduct into the collections they hold | 36 | | Providing more collaborative doctoral opportunities | 22 | | Providing more help to those conducting research to help demonstrate impact | 21 | | Conducting more research in their own right | 15 | | Don't know | 5 |

Q35. Which of the following do you feel would most help to improve TNA’s offer to the academic and research communities?

Base: All participants n=313

Academics and researchers primarily look to The National Archives to fulfil its core mission of providing access to collections, being experts at curation and encouraging engagement with archives at a national level. Most therefore believe that research conducted by the organisation should inform these key areas. The feeling is that The National Archives would achieve a greater reputation if it focuses on this core mission, conducting research into defined areas of expertise and leading the sector. Academics are generally uneasy at the thought of The National Archives moving into more widespread research, and this could be a risk. 7. Responding to the community’s needs

Once it was known what the academic and research community want and need from The National Archives, participants were probed for further details on how they feel TNA could meet those needs. Areas ranging from the importance of TNA’s public remit, the internal research strategy and infrastructure, visibility of research, collaborations, and greater service and training provision were explored.

In order to respond to the community’s needs, The National Archives must first continue to fulfil its remit as the public service provider, before defining a clear strategy to increase the potential for, and visibility of, its research.

7.1. Potential barriers to research aspirations

There are several potential obstacles that currently lie between The National Archives and the aim of improving its research reputation.

Public remit

Critically, the persistent perception of The National Archives as guardian of an entire sector and best-in-class service provider, may pose a challenge in terms of perceptions and resource allocation.

The National Archives’ responsibility for leadership in the archival sector and for the protection, curation and maintenance of public records at both local and national level is paramount. So resource to support this role will remain a priority.

There is recurring reference to the fact that multiple organisations, especially universities can conduct research, but only The National Archives can support and champion the archival sector.

Internal infrastructure

The National Archives is perceived to be structured for service provision, at which it performs exceptionally well. It is, however, perceived to lack a consistent strategy for research or sufficient time to pursue research effectively.

Collaboration

Some academics are wary of new players like IROs entering the research space, as they can be seen as competitors vying for research funding (which due to funding pressures is more competitive than ever), despite also having other organisational remits to fulfil.

However, collaborations can be a potential source of shared resource and expertise. Respondents were asked which organisations The National Archives should consider collaborating with. Overwhelmingly, partnerships with universities appear most appropriate. for The National Archives rather than with other IROs, with 83% of the 126 participants who believe TNA should have more collaborations saying Universities.

**Competition**

Academics are concerned that The National Archives and other organisations are adding competition for the limited funding available for research. Academics tend to see their role to be the researchers, while The National Archives are seen as facilitators by providing access to services.

**Visibility**

Critical to driving reputation for research is visibility of outputs. Currently awareness of the National Archives’ independent research is low. Furthermore, credibility is critical and can be generated by a strategic and coherent programme of research into a defined area of expertise, which The National Archives is perceived to be lacking.

Awareness of The National Archives’ current academic research is low across the academic and research community – only those who are ‘in the know’ and who are already more engaged with The National Archives have a greater awareness of specific research projects that The National Archives is involved in. These same academics widely acknowledge that other colleagues are unlikely to know much about The National Archives research offer, and this research has shown that this is correct. Further to this, this reputation is compounded as The National Archives’ research is not seen at conferences, networking events or exhibitions, and there is a view that other organisations (for example, other IROs) have a greater facility to promote their research and make it visible to the community.

**Reputation and renown**

Awareness and recollection of The National Archives’ public engagement work is widespread. However, the subject matter of these (aimed at engaging the general public) is sometimes perceived as unexciting by other researchers and some felt may impact The National Archives’ reputation for cutting-edge research amongst the academic and research community. Furthermore, The National Archives’ research is considered to be scarce in notable journals.

**7.2. Achieving research aspirations**

**Strategic coherence**

It was felt that The National Archives must ensure it continues to fulfil what is its primary role in the eyes of the research and academic community: to advocate for and lead the archival sector. In addition to this, a clear and coherent research agenda will help to legitimise the pursuit of independent research. • **Clarity and consistency of research agenda** – The National Archives needs a consistent strategy and to research relevant areas, based on a clear and consistent ethos

• **Continued advocacy and leadership for the sector** – In a climate of change and cuts, the archival sector itself looks to The National Archives for support, but academics also recognise the importance of the organisation’s protection of their sources of material.

**Optimised service provision (archives)**

Most interpret The National Archives’ primary remit to be the provision of archival services and access to collections, and are unforgiving of any perceived shortcomings in this area. Continued work to improve the Discovery catalogue will help to bolster reputation, as well as sustained innovation and leadership in digital archives services.

• **Digitisation and cataloguing** – In line with the community’s perception of The National Archives’ primary remit as a service provider, respondents feel that the organisation must continue putting resources into cataloguing the collections and making them increasingly accessible for researchers. There is an expectation that The National Archives will make further progress in digitisation, which is seen to have revolutionised research so far, but more is expected in the future. Such developments hold the lynchpin to ensuring research is easier to conduct in the future by making records more accessible.

• **Ongoing improvement of Discovery** – The research and academic community continue to express frustration at glitches with the Discovery catalogue, which can have a negative impact on The National Archives’ wider reputation as a service provider and also call into question time and resource spent on other pursuits, such as research.

**Maximised solution provision (research)**

Within its leadership role, The National Archives is considered best placed in the sector to provide archival training to early career researchers, which can also help to contribute towards de-mystifying Kew itself. Also to this end, and in direct response to current requirements, offering affordable exhibition space would be welcomed.

• **Exhibition facilitation** – In line with increasing pressure on researchers to prove impact of their work, many in the community see The National Archives as being a natural link to the public, which will help them to meet REF requirements to help demonstrate impact. Providing exhibition space and promoting work to the public for academics and researchers could be a relatively quick win. This could also generate funds for The National Archives. The National Archives are seen to have the space to do this, and also have a captive audience with the visiting public to help with this.

• **Training** – Training is seen as an important service for removing the barrier of early researchers feeling daunted by the scale of the archives, it also positions The National Archives in their role as experts. Students also would like to see a move towards more tailored, skills-based training workshops to improve employability, as there is realisation that it is harder to get an academic role these days.

**Effective infrastructure**

In order to credibly inhabit the research landscape and practically resource research, The National Archives must ensure that it has the appropriate infrastructure in place internally. Employees must have clear objectives between public duties and research activity, or further resource must be sought through placement schemes.

- **Time for research** - Ensuring the employees understand their objectives in terms of research, and have the time to conduct research as part of their role, will help to improve service provision for collaborations as well as growing individual staff profiles, which also adds to organisational reputation.

- **CDP students** - The National Archives could try to establish more CDP students in order to provide additional research resource, and to be seen as an organisation that is more research-active. During the research, some raised the fact that The National Archives had only received two CDP student allocation in the current round of funding, and this was felt to limit The National Archives ability to conduct research and grow its reputation. CDP students offer a mechanism for the organisation to focus on forwarding research projects that it may not have the time or resource to undertake itself. Caution, though, must also be urged with this. It is important to strike a balance between what The National Archives would like these students to research vs employability and one eye must be kept on this at all times to ensure that not only does The National Archives further its research objectives but the CDP students also receive strong research grounding which will help to secure their future prospects. Criticism was aimed at organisations that do not think about this alongside their research aims.

- **Apportion some internal funding to research** - Allocating some internal funds to conduct research would potentially legitimise research activity in the eyes of the academic and research community who sometimes perceive IROs like The National Archives as competing for funding to conduct research, which is outside their primary remits. In a time of funding cuts this is though difficult for The National Archives to action.

**Increased visibility of research**

There is appetite for The National Archives to conduct research relevant to its role as service provider and sector lead, but in order to improve awareness of its research respondents felt that The National Archives should be much more present in the community by attending and contributing to conferences and seminars, as well as visiting regional universities. • **Networking and profile building** - There is frequent reference to the fact that The National Archives staff and researchers are not present or “seen” at community or sector events sufficiently. Having a pre-planned strategy for attendance at events could help grow awareness of The National Archives’ research activity and help dispel perceptions of remoteness or aloofness.

• **Attending conferences, holding exhibitions** - Academics and professionals alluded to conferences or events where they would have expected The National Archives to be talking at. The community felt that The National Archives should aim to attend and lead academic conferences, and be more visible to the sector at such conferences and events. Again, this can help to grow awareness of research activity and therefore reputation.

• **Showing presence outside of London** - In recognition of the fact that some students and academics struggle to find the time / money to visit Kew, it was also felt that The National Archives could also increase its profile and visibility by making regular visits to Universities outside of London to tell the community what it does, what is available and to help them find out more about its research.

**Enhanced research reputation**

In order to also improve the reputation of The National Archives’ research, the calibre and credibility of the research undertaken could be highlighted, perhaps by attracting “big name” researchers to Kew through a Fellowship scheme or by delineating research activity via sub brands, a journal or communications.

• **Fellowship scheme** - Attracting notable researchers for defined periods of time to work with The National Archives could prove a cost-effective way to associate large names with the organisation and also “find” resource from outside.

• **Clarification of research vs. public engagement** - The National Archives could consider developing a sub-brand to separate its academic research from the public engagement work. The “popular topics” of the public engagement work can potentially damage reputation as a serious research organisation among the academic and research community. This could offer one route to neutralising this issue.

• **Journal publication** - If The National Archives were to publish its own journal this could be a way to increase visibility of research to the academic community. It can also act as a method of encouraging staff to share their research and dedicate more time to this part of their work, enhancing both the organisation’s reputation as well as the staff reputation for research. This was something that a number of Independent Research Organisations were doing. It can be difficult to get published in journals, and this offers a way of disseminating research findings to a wider audience. However, caution with this does need to be urged as publication in one journal can mean that it may not be possible then to publish this research in external journals. 8. How does The National Archives compare with other national archives?

As part of the research programme, we also conducted three in-depth interviews with national archives in other countries to compare and contrast experiences. These archives are of a comparable size and status to The National Archives.

During these interviews, it became clear that the archives in other countries that we spoke to (international archives) also want to engage more with academic and research communities but face many of the same challenges that The National Archives faces. If anything, they are further behind The National Archives, with The National Archives in the UK being held in high regard compared to international archives which lack a research strategy and impetus.

8.1. Service provision and research

Internationally, there appears to be two distinct communities: the research community and the archive service community. As with The National Archives, international archives are highly regarded for their service provision and access to collections, but are less well known for research. Currently research focuses on digital preservation, conservation science and ways to improve the services provided. They have aspirations to conduct more research but lack a research strategy and impetus and appear to be further behind The National Archives in this regard.

Service provision

Service provision is seen as national archives’ “primary business” in other countries, and is demarcated in their constitutions and strategic plans. Research on the other hand, is not explicit in the foundation or strategic goals of the institutions interviewed.

There is a feeling among the international archives that each one has a good reputation within the academic community for their service provision. The key is identified as being able to provide users with what they want, when they want it.

Research

The international archives do not appear to have a developed, coherent research function, or a strategic goal to develop research activity. A research focus still sits uncomfortably within the activities of such national institutions. Research at these organisations currently focuses on:

- Research for public engagement exhibitions
- Digital technologies to improve service development
- Developing conservation science and curation techniques • Digital preservation solutions

However, there is a desire to undertake more research in order to open up new collections and improve digital research infrastructures.

None of the institutions felt they were seen as partners by academic researchers, but there is a sense that archives need to make stronger links with the academic and research community to help understand its needs and exchange knowledge.

8.2. Challenges and needs

National archives in other countries and regions face similar challenges and trends to those opposing The National Archives.

• **Funding** - Funding is again a challenge both for the archives themselves and for the academics who wish to visit. Travel distances in the other countries can be vast and expensive and even more prohibitive than what academics face in the UK.

• **Digital technologies and discoverability** - The scale and nature of digital data is making research more complex. A lot of resource is needed to resolve issues around managing digital collections. Moreover, researchers need to be able to quickly identify, access and view the records that they need, ideally in a digital format.

• **Institutional alignment and infrastructure** - There needs to be solid support for research activity by senior leaders at non-higher education institutions. An appropriate infrastructure of data management services is also required to support research. The research must also have the aim of solving critical, relevant problems, similar to the need for impact in the REF.

8.3. The National Archives compared to international archives

The National Archives appears to be well placed compared to other national archives due to the fact that TNA is consciously considering its role of undertaking research and is considered to have taken the lead, particularly when understanding how the internet has changed the archive world.

Other archives have an aspiration to do more, but not the strategic impetus at this stage. Archival organisations in other countries are looking to the UK to see how it is done, and identify ways to overcome the numerous barriers.

During the qualitative research stage, several other international archives and institutions were mentioned by various participants and received mixed feedback and perceptions. For example, Australian organisations are regarded as having good relationships with research councils in particular, while this connection is more patchy in the United States.

However, certain institutions in the USA were regarded highly by participants, such as the Huntington Library and the Folger Shakespeare Institute. These two were felt to be comparable in reputation to The National Archives, and are even more engaged in leading conferences and offering fellowships to researchers. Various European archives are mentioned and considered to have reputable collections, such as those in France, Germany and the Netherlands. The Simancas Archive in Spain is an example of one that has a reputation for being a fantastic archive for early modernist historians, though seemingly less frequented by UK academics and researchers. 9. Conclusions and recommendations

9.1. Conclusions

In a period of flux and uncertainty, The National Archives provides a constant for the research and academic communities by facilitating research. The organisation provides consistent leadership and advocacy for the archival sector, upon which academia and research relies and in so doing is perceived to serve the community.

Organisations with strong research reputations have coherent, well established, well-promoted areas of research expertise centred mainly on their own collections. The National Archives currently fulfils the curation excellence but can be perceived as poorly equipped in other strategic and practical areas.

TNA already serves the research community

- Advocacy
- Leadership
- Innovation
- Protection of local archives
- Research facilitator
- Access to materials
- Helpful staff
- Support and training

TNA’s current fulfilment of key reputational characteristics for research is uncertain

| Coherent Strategy | Experts in collections | |-------------------|------------------------| | ? Strategic impetus for research | ✓ Nature of collections held | | ? Coherent research programme | ✓ Experts in own collections | | ? Defined area of research expertise | |

| Awareness and dissemination | Reputation | |-----------------------------|------------| | ? Visibility of research outputs | ? Notable researchers on staff | | ? Visibility of research staff | ? Staff with time to dedicate to research |

Successful collaborations

? Collaborations with universities

Further to organisational and practical obstacles to its research aspirations, The National Archives must also manage the perception that its sole, primary remit is as a public services provider to the archive, academic and research communities. 9.2. Final recommendations

The challenge will be to forge a co-existence between The National Archives’ research aspirations and the community’s support requirements, by ensuring continued delivery of the organisation’s primary remits and positioning research activity as working towards that aim.

Based on the research findings, we feel that key areas to consider are as follows:

- The National Archives needs to continue to advocate for the archives sector, and lead the development of the sector. It is clearly felt that if The National Archives does not do this, nobody else will (but research will continue to be done by others). One participant said “TNA needs to be a strong voice for maintenance and continuation of local and national archives, and the protection and preservation of archives for the future, because no one else can do that.” In terms of leading the development of the sector, The National Archives needs to focus any research on archival issues, sector issues and enhancing the knowledge of its own collections rather than conducting research into broader issues. In turn, a clear focus will also help the academic and research community to understand what The National Archives is interested in researching, making collaboration potential clearer (i.e. they will come to you with projects that they know you will be interested in, and know that TNA will come to them with areas of mutual interest).

- As part of defining a clear research agenda, The National Archives does need to decide whether staff time is to be freed up to conduct research. This report has found that this is a key facilitator in generating a strong reputation. Not only does this mean that staff have the time to conduct research, but visibility can also be increased through enhanced outputs and attendance at seminars and conferences. The National Archives does though have a primary remit for service provision and this needs to be balanced with any time spent on conducting research. The National Archives could apportion internal funding to free up staff time and allow staff to conduct research. In the current funding climate, resources for The National Archives are likely to continue to be scarce which may make achieving this difficult. Instead, bidding for research funding on a project by project basis will bring in monies to the organisation which it would not normally have access to, to facilitate this research. It is unlikely that the funding in itself will generate a revenue stream for the organisation (academics themselves elude to the fact that research projects rarely have money left once the project is complete), but will at least allow The National Archives to conduct research in a climate where it would not normally be able to do so. In short, external funding can facilitate this move and make it easier for The National Archives to fund research that it would not necessarily be able to undertake of its own accord. In so doing, with a clear focus on research related to sector issues The National Archives can continue to move forward knowledge of its own collections and other key methodological and sector issues.

- Staff also have to be clear about what they can and cannot do. This clear research agenda has to be agreed from the top and made clear within staff job role specifications and appraisal objectives to facilitate any increases in research activity. • There are also some quick wins. The academic and research community is in need of space to put on exhibitions and provide access to a public audience. Some organisations are charging a lot of money for this service, and The National Archives has the space. This in turn could bring in revenue for the organisation. In turn, well respected exhibitions also have the potential to widen knowledge of The National Archives research reputation and generate deeper relationships with academics who wish to put on these exhibitions. In doing this though, The National Archives does need to carefully think about the time that this can take. Work will be required internally to ensure that exhibitions are appropriate for the public and so there is a time implication here. Discussions with academics and even work on the exhibition itself may be necessary to optimise its appeal and as a result, The National Archives will need to think carefully about any exhibitions that it takes on rather than simply accepting everything.

• CDP studentships also offer the ability for The National Archives to expand its research function. There is a mutual benefit in this relationship – The National Archives gets a dedicated research resource and the early career researcher develops valuable skills and expertise. Obtaining more CDP studentships during the next round of funding will be important for The National Archives to help develop its research role and function.

• There are other areas for potential quick wins. The National Archives already offers archival training, but many researchers do not or cannot attend (too far away), and there is evidence that because of the specialised nature of research and the topics covered, tailored training is also required rather than generic training. Continuing with training is a way in which The National Archives can ensure early researchers become familiar with its service provision and start conversations with researchers of the future. A stronger and more tailored training offer can help to achieve this. As training is London based, a more regional offer could also be considered.

• During the research we were impressed with the willingness to share learnings amongst the other Independent Research Organisations included in the research. The challenges that The National Archives is facing in trying to develop a coherent research strategy are similar to those that other IROs are facing. Continual discussions about the route that each organisation is taking and what has been learnt from this will mean that organisations will continue to benefit from this knowledge sharing. Some are further along the route than others in terms of conducting research and valuable lessons can be shared in terms of what has worked / has not worked for them. The IRO group which meets regularly can help to facilitate this.

Setting the above in context, continued excellence in service provision is still sought and continued moves around issues such as digitisation and improvements for Discovery are still desired to facilitate better research. As previously outlined, these should not be forgotten, and any research conducted should take the sector as a whole forward rather than focussing on wider unrelated issues. 10. Appendix

10.1. Questionnaire

Online Survey

| Client name: | The National Archives | |--------------------|-----------------------| | Project name: | Academic Scoping Study| | Job number: | 2868 | | Methodology: | Online | | Version | FINAL |

Notes on this document

- Instructions in **CAPS** are for computer programming
- **Bold** or **underlined** words are for emphasis within a question
- Different question types have different numbers:
  - Screener questions are labelled S01, S02, S03 etc.
  - Main survey questions are labelled Q01, Q02, Q03 etc.
  - Number codes are included on each question for data processing purposes The National Archives is working with DJS Research, an independent market research company, to conduct research into how the organisation is currently meeting the needs of academics and researchers, the ways in which they might collaborate more effectively with the research and academic communities, and what kinds of services they might develop in the future.

The research will help inform the development of future research and academic engagement work. It will also support The National Archives’ business plan, Archives Inspire 2015-19, which identifies the academic and research communities as core audiences.

Towards the end of last year, DJS Research conducted a number of in-depth interviews with academics, scholarly researchers, university archivists, research students and leading research organisations, and this has helped to shape questions that will now be posed via this online survey. If you participated in the initial stages of research, we would still value your participation in this survey. If you are a member of staff at The National Archives (i.e. an employee rather than a member of an advisory group), we would suggest that you do not participate in this particular survey, given its focus.

DJS Research has created the survey in consultation with The National Archives and will be analysing the results. The survey takes around 10 to 15 minutes to complete, depending on your answers and will cover, amongst other things:

- Identification of key changes / challenges in the research and academic landscapes for the next five years
- Ways in which The National Archives might support and work more closely with academics, research students, research bodies, and the scholarly community
- Identification of perceptions of The National Archives and its role

Responses to this survey will be delivered back directly to DJS Research. DJS Research adheres to the strict guidelines set out by the Market Research Society and all comments will remain confidential. All findings will be reported on an aggregated basis and will not be attributed to individuals.

The National Archives greatly appreciates your feedback. Should you have any further queries about this research, please contact Callum McCulloch at DJS Research – cmcculloch@djsresearch.com

We thank you in advance for your participation. CLICK HERE TO CONTINUE. You and your role

Q1 All respondents Which region are you based in? If you are based in more than one, please indicate the main one you spend most of your time in. Tick one response only.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------| | 1 | South East | | | | 2 | London | | | | 3 | North West | | | | 4 | East Midlands | | | | 5 | West Midlands | | | | 6 | South West | | | | 7 | Yorkshire and Humber | | | | 8 | North East | | | | 9 | Scotland | | | | 10 | Wales | | | | 11 | Northern Ireland | | | | 12 | Outside the UK (SPECIFY WHICH COUNTRY) | OPEN | | | 87 | Prefer not to say | | |

Q2 All respondents Which of the following best describes your role? If you have more than one role, please just tick the one you spend the most time on. Tick one response only.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | I am an academic within a Higher Education Institution | | | | 2 | I am an academic within an Independent Research Organisation or research organisation | | | | 3 | I am a scholarly / independent researcher | | | | 4 | I am a research student (e.g. PhD, Masters) | | | | 5 | I am an undergraduate student | | | | 6 | I am an archivist, collections manager or records officer | | | | 7 | I work for an organisation in the culture and / or heritage sector (e.g. museum, library, collection) | | | | 8 | I work for an organisation which supports the research and | | | | Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 9 | I work for an organisation which represents portions of the research and scholarly community (e.g. learned society, academy) | | | | 10 | I work for The National Archives | SCREEN OUT | | | 80 | Other (SPECIFY) | OPEN | | | 85 | Don’t know | SCREEN OUT | |

**Q3**

**All respondents**

As part of your role, do you conduct research? **Tick one response only.**

**SINGLE CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Yes | | | | 2 | No | | | | 85 | Not applicable | | |

**Q4**

**All respondents coding 7 or 8 or 9 at Q2**

Which of the following best describes the sort of organisation that you represent? If you represent more than one organisation, please just tick the **main one** that you represent. **Tick one response only.**

**SINGLE CODE.**

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | University or Higher Education Institution | | | | 2 | Independent Research Organisation or Research Body | | | | 3 | Museum | | | | 4 | Funding body | | | | 5 | Library | | | | 6 | Learned and Scholarly Society | | | | 7 | National or representative professional body | | | | 8 | Archive, collection or records office | | | | 9 | Membership organisation | | | | 80 | Other type of organisation (SPECIFY TYPE) | OPEN | | Q5 All respondents coding Yes at Q03 (Q03 code 1) Which academic fields would you say are your specialisms? **Tick all that apply.**

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Archive and Heritage science (Please specify which) | OPEN | | | 2 | Digital Humanities (Please specify which) | OPEN | | | 3 | Information studies (Please specify which) | OPEN | | | 4 | Social science (Please specify which) | OPEN | | | 5 | Humanities (including History, Historical Studies) (Please specify which) | OPEN | | | 6 | Law and Legal Studies (Please specify which) | OPEN | | | 7 | Education (Please specify which) | OPEN | | | 8 | Digital preservation (Please specify which) | OPEN | | | 80 | Other (SPECIFY ONE) | OPEN | |

Q6 All respondents coding 1 or 4 at Q2 (University academics and PhD/ Masters researchers) Which of the following roles are you involved in at your University? **Tick all that apply.**

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Teaching | | | | 2 | Conducting independent research as an individual / independent researcher | | | | 3 | Conducting research as part of a collaboration | | | | 4 | Putting together bids for research funding | | | | 5 | Supervising PhD/Masters’ students | | | | 6 | Undergraduate teaching | | | | 7 | Administration | | | | 8 | Responsibility for the University REF submission | | | | 80 | Other (SPECIFY) | OPEN | | Q7 All respondents who conduct research (Q3, code 1) Have you produced any of the following outputs with any research you have conducted in the last 3 years? **Tick all that apply.**

**MULTI CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Yes – exhibition(s) | | | | 2 | Yes – published a book(s) | | | | 3 | Yes – published an article(s) | | | | 4 | Yes – edited volume contribution(s) | | | | 5 | Yes – conference paper(s) | | | | 80 | Yes – Other (SPECIFY) | OPEN | | | 6 | No | | |

Q8 All respondents coding 6 at Q2 Do you work for a University archive / special collection **within a University?** **Tick one only.**

**SINGLE CODE.**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Yes | | | | 2 | No | | |

**Key challenges & Changes**

For the next few questions we will consider any changes that may arise in the academic and research landscapes in the next 5 years.

Q9All respondents What do you feel might be the three main **changes and/or challenges** that the academic and research communities will see **in the next five years?** Write in no more than 3 responses, each on a separate line.

**OPEN RESPONSE, ALLOW RESPONDENT TO ONLY GIVE 1, 2 or 3 RESPONSES. ENSURE MAXIMUM NUMBER OF CHARACTERS AS RESPONSES MAY BE LENGTHY**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Change / Challenge 1 | OPEN | | | 2 | Change / Challenge 2 | OPEN | | | 3 | Change / Challenge 3 | OPEN | | | 85 | Don’t know | Exclusive | | Q10 All respondents Do you feel that the next five years will see more, less or the same amount of research being conducted by the academic and research communities? **Tick one only.**

**SINGLE CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | More | | | | 2 | Less | | | | 3 | The same | | | | 85 | Don’t know | | |

Q11 All respondents coding 1 or 2 (More or less) at Q10 Why do you feel that <INSERT RESPONSE FROM Q10> research will be conducted? **Write in your response.**

**OPEN RESPONSE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 80 | OPEN RESPONSE | | | | 85 | Don’t know | | |

Q12 All respondents What do you feel are likely to be ‘big’ research themes in the next 3-5 years? Please focus on broad themes spanning academic fields rather than specific areas of investigation.

If you feel unable to give broad answers, please describe those areas of research that are important to you and that might relate to The National Archives. **Write in your response.**

**OPEN RESPONSE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 80 | Open response (SPECIFY) | OPEN | | | 85 | Don’t know | | | Q13 All respondents Where do you think key sources of support will come from in the future for academic and research communities? Write in your response

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|----------------------------------|-----------------|---------| | 80 | Open response (SPECIFY) | | OPEN | | 85 | Don’t know | | |

Perceptions of organisations conducting research

The next few questions are about your perceptions of organisations that conduct research. This could include Independent Research Organisations, or other organisations outside of Higher Education that conduct research.

Q14 All respondents Which organisations outside of the Higher Education sector would you strongly associate with conducting research? Type in your responses

OPEN RESPONSE x10 open boxes

| Code | Answer list | Scripting notes | Routing | |------|----------------------------------|-----------------|---------| | 80 | Open response (SPECIFY) | | OPEN | | 85 | Don’t know | | |

Q15 All respondents giving an answer at Q14 (Exclude DK, code 85) Broadly, why do you strongly associate these organisations with conducting research? Tick all that apply.

MULTI CODE

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | They have notable academics on their staff | | | | 2 | They have Independent Research Organisation status | | | | 3 | Staff spend time researching their own holdings/collections to increase organisational knowledge of them | | | | | | |---|-------------------------------------------------------------------------------------------| | 4 | They conduct specialist research into an area of defined expertise | | 5 | They conduct inter-disciplinary research across multiple specialisms | | 6 | They put on exhibitions showcasing their research | | 7 | They publish their research findings in journals/books etc | | 8 | They collaborate a lot with Universities or other organisations to conduct research | | 9 | They present their findings at national and international conferences | |10 | Their research has a strong online presence via their website, podcasts, YouTube etc. | |80 | Other (SPECIFY) | |85 | Don’t know |

**Q16**

**All respondents**

Below is a list of leading research organisations. Please tick all that you are aware conducts research. This may include research on their own holdings, or research on other areas.

**MULTICODE, ROTATE ANSWER LIST**

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------------| | 1 | British Library | | | | 2 | British Museum | | | | 3 | Victoria and Albert Museum | | | | 4 | Wellcome Trust | | | | 5 | Natural History Museum | | | | 6 | National Portrait Gallery | | | | 7 | National Maritime Museum | | | | 8 | Historic Royal Palaces | | | | 9 | Imperial War Museum | | | |10 | Museum of London Archaeology | | | |11 | The National Archives | | | |12 | National Centre for Social Research | | | |13 | National Gallery | | | |14 | National Institute of Economic and Social Research | | | |87 | None of these | FIXED, EXCLUSIVE| | Q17a All respondents coding The National Archives at Q16 (code 11) Are you aware of any specific research conducted by The National Archives in the past three years? Please tick all that apply.

MULTI CODE

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------------|------------------| | 1 | Yes, I am involved in it or have been involved in it in the past (Please specify how) | EXCLUSIVE, OPEN | GO TO Q18 | | 2 | Yes, I heard something (Specify where you heard it) | OPEN | | | 3 | Yes, I read something (Specify where you read it) | OPEN | | | 4 | Yes, I saw something (Specify where you saw it) | OPEN | | | 5 | No, nothing that I can remember | EXCLUSIVE | GO TO Q18 |

Q17b All respondents having heard, seen or read something at Q17a (codes 2-4) What was / is the subject of specific research that you...PULL THROUGH SELECTION(S) FROM Q17a} heard about / read about / saw? Please specify

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------------|------------------| | 85 | OPEN RESPONSE (SPECIFY) | | | | 85 | I am not sure / I can’t remember | EXCLUSIVE | |

Q18 All respondents coding any organisation at Q16 (codes 1-14) Below are the research organisations that you identified as conducting research. How would you rate the reputation of each of the following organisations for conducting research? Please use a scale from 1-4 where 1 = very poor, 2 = poor, 3 = good, 4 = very good. Please give one response for each organisation.

SHOW ORGANISATIONS CODED AT Q16 ONLY. SHOW IN SAME ORDER AS SHOWN AT Q16. SCALE = 1-4 PLUS DK IN A GRID.

| Code | Answer list | Scripting notes | Routing | |------|------------------------------------|-----------------|---------| | 1 | British Library | | | | 2 | British Museum | | | | 3 | Victoria and Albert Museum | | | | 4 | Wellcome Trust | | | | 5 | Natural History Museum | | | | 6 | National Portrait Gallery | | | | 7 | National Maritime Museum | | | Q19 All respondents rating The National Archives at Q16 (code 11) and rating reputation at Q18 as very poor, poor, good or very good (codes 1-4 at code 11, q18) You described the reputation of The National Archives for conducting research as <FILTER THROUGH FROM Q18>. Why is this? Please write in your response.

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------------|-----------------|---------| | 80 | Open response (SPECIFY) | OPEN | | | 85 | Don’t know | | |

Q20a All respondents not aware of The National Archives at Q16 (not coding 11 at Q16) The National Archives does conduct research. Have you seen, read or heard anything about specific research conducted by The National Archives in the past three years? Please tick all that apply.

MULTI CODE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------------|-----------------|---------| | 1 | Yes, I heard something (Specify where you heard it) | OPEN | | | 2 | Yes, I read something (Specify where you read it) | OPEN | | | 3 | Yes, I saw something (Specify where you saw it) | OPEN | | | 4 | No, nothing that I can remember | EXCLUSIVE | | Q20b All respondents having heard, seen or read something at Q20a (codes 1-3) What is the subject of research that you {PULL THROUGH SELECTION(S) FROM Q20a} heard about / read about / saw? Please specify

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------------|-----------------|---------| | 85 | I am not sure / I can’t remember | EXCLUSIVE | |

Q21 All respondents not aware of The National Archives at Q16 (not coding 11 at Q16) How would you describe The National Archives’ reputation for conducting research? Please use a scale from 1-4 where 1 = very poor, 2 = poor, 3 = good, 4 = very good. Please tick one response only.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don’t know | | |

Q22 All respondents rating The National Archives at Q21 (Codes 1-4) You describe the reputation of The National Archives for conducting research as <FILTER THROUGH FROM Q21>. Why is this?

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------------|-----------------|---------| | 80 | Open response (SPECIFY) | OPEN | | | 85 | Don’t know | | | Q23 All respondents How important do you consider each of the following for an organisation in driving a strong reputation for conducting research. Please use a scale from 1-4 where 1 = very unimportant, 2 = quite unimportant, 3 = quite important, 4 = very important. Please give one response per statement.

SINGLE CODE PER STATEMENT. ROTATE STATEMENTS. CODES 1-4 PLUS DK FOR ANSWER LIST.

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | The collections held | | | | 2 | Individual staff reputation for conducting research | | | | 3 | The time to do research | | | | 4 | Strong collaborative partnerships with other academic organisations | | | | 5 | A strategic impetus for research | | | | 6 | The ability to demonstrate impact for the research they are conducting | | | | 7 | The visibility of research in peer-reviewed publications | | | | 8 | The visibility of research outputs online e.g. websites, social media | | | | 9 | The visibility of research at national and international conferences | | |

Q24 All respondents Archives Inspire, The National Archives’ business plan identifies the academic and research communities as core audiences. Please indicate to what extent you feel the following are important for The National Archives to focus on, given its aim of strengthening its relationship with these communities. Please use a scale from 1-4, where 1 = very unimportant, 2 = quite unimportant, 3 = quite important, 4 = very important.

4 POINT SCALE, GRID, ROTATE STATEMENTS, INCLUDE DK

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Providing access to its archives and collections | | | | 2 | Providing access to training for researchers and students | | | | 3 | Providing access to staff expertise | | | | 4 | Conducting research as an | | | | Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|------------------| | 1 | Conducting research in order to place its collections within their wider historical and scientific context | | | | 2 | Researching the materiality of its collections in order to better understand the production of archival documents | | | | 3 | Researching new ways of navigating and exploring archival collections | | | | 4 | Researching the management and preservation of holdings in the digital age | | | | 5 | Researching wider archival / methodological issues | | | | 6 | Researching the content of The National Archives’ holdings | | | | 7 | Researching wider issues in other related disciplines | | | | 8 | Research into the areas of data science | | | | 9 | Research into the dissemination and impact of Research | | | | 10 | Research into Research Data Management | | | | 80 | Other (SPECIFY) | OPEN, FIXED | | | 85 | Don’t know | EXCLUSIVE, FIXED| | Q26 All respondents In the past, have you ever done any of the following with The National Archives? **Tick all that apply**

**MULTI CODE, ORDERED**

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Used their resources to conduct research | | | | 2 | Collaborated on a research bid | | | | 3 | Conducted research as part of an academic project together | | | | 4 | Been involved in the CDP student programme (Collaborative Doctoral Partnerships) | | | | 5 | Been involved in the DTP programme (Doctoral Training Partnership) | | | | 6 | Attended a training course at The National Archives | | | | 7 | Used or worked with The National Archives in another way (SPECIFY) | OPEN | | | 8 | I have not worked with the National Archives, or used their resources | | | | 85 | Don’t know | | |

Q27 All respondents coding 2, 3, at Q26 (Collaborated on a research project) Overall, how would you describe your experience of engaging with The National Archives when collaborating on research projects or bids? **Tick one only.**

**SINGLE CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don’t know | | | Q28 All respondents giving an answer at Q27 (codes 1-4) Why has your experience of engaging with The National Archives when collaborating on research projects or bids been \<INSERT RESPONSE FROM Q27, CODES 1-4>? Write in your response.

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------|-----------------|---------| | 1 | OPEN RESPONSE (SPECIFY) | | | | 85 | Don't know | | |

Q29 All respondents coding 1 at Q26 (used TNA resources) Overall, how would you describe your experience of using The National Archives resources to conduct research? Tick one only.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don't know | | |

Q30 All respondents giving an answer at Q29 (codes 1-4) Why has your experience of using The National Archives’ resources to conduct research been \<INSERT RESPONSE FROM Q29, (CODES 1-4)>? Write in your response.

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|------------------------------|-----------------|---------| | 1 | OPEN RESPONSE (SPECIFY) | | | | 85 | Don't know | | | Q31 All respondents coding 4 at Q26 (Engaged with CDP’s) Overall, how would you describe your experience of engaging with The National Archives’ for CDP’s? **Tick one only.**

**SINGLE CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don’t know | | |

Q32 All respondents giving an answer at Q31 (codes 1-4) Why has your experience of engaging with The National Archives for CDP’s been \<INSERT RESPONSE FROM Q31, (CODES 1-4)>? **Write in your response.**

**OPEN RESPONSE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | OPEN RESPONSE | | | | 85 | Don’t know | | |

Q33 All respondents coding 5 at Q26 (engaged with DTP’s) Overall, how would you describe your experience of engaging with The National Archives for DTP’s? **Tick one only.**

**SINGLE CODE**

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don’t know | | | Q34 All respondents giving an answer at Q33 (codes 1-4) Why has your experience of engaging with The National Archives for DTP’s been \<INSERT RESPONSE FROM Q33, (CODES 1-4)>? Write in your response.

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|----------------------|-----------------|---------| | 1 | OPEN RESPONSE | | | | 85 | Don’t know | | |

Q35 All respondents Which of the following do you feel would most help to improve The National Archives’ offer to the academic and research communities? Please tick the three options below that you feel are the most important.

MULTI CODE UP TO THREE, ROTATE STATEMENTS

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Providing better access to original records no matter where people are geographically (i.e. digitisation) | | | | 2 | Increasing the visibility of research they conduct into the collections they hold | | | | 3 | Providing more training to help people understand what The National Archives holds and how to access it | | | | 4 | Conducting more research in their own right | | | | 5 | Getting involved in more research partnerships and collaborations | | | | 6 | Providing more collaborative doctoral opportunities | | | | 7 | Providing more help to those conducting research to help demonstrate impact | | | | 85 | Don’t know | EXCLUSIVE, FIXED| | Q36 All respondents Are there any other services or provisions that have not been suggested that you feel The National Archives ought to propose to improve its offer to the academic and research communities? Please provide any responses below.

OPEN

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------| | 1 | OPEN RESPONSE (SPECIFY) | | | | 85 | Not that I can think of / I don’t know | EXCLUSIVE | |

Q37 All respondents saying more partnerships and collaborations at Q35 (code 4) Which organisations should The National Archives collaborate more with? Tick all that apply

MULTI CODE/OPEN RESPONSE. ALLOW RESPONDENT TO PROGRESS EVEN IF THEY DO NOT SPECIFY

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------| | 1 | Universities (SPECIFY WHICH ONES IF PARTICULAR UNIVERSITIES SPRING TO MIND) | OPEN | | | 2 | Other organisations (SPECIFY WHICH ONES IF PARTICULAR INDEPENDENT RESEARCH ORGANISATIONS SPRING TO MIND) | OPEN | | | 3 | Other type of organisation (SPECIFY) | OPEN | | | 85 | Don’t know | | |

Communicating with The National Archives We would now like to ask a few questions on your communications with The National Archives.

Q38 All respondents Have you used The National Archives’ website (as opposed to its catalogue) in the last 2 years? Please tick one response.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Yes | | | Q39 All respondents who code “yes” at Q38, code 1 What have you used it for? Please write your response below.

MULTI CODE

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------| | 1 | To access Discovery | | | | 2 | To find out about academic training courses | | | | 3 | To find out about collaboration opportunities | | | | 4 | To find visiting information | | | | 5 | To find research published by The National Archives staff | | | | 6 | To use record copying services | | | | 80 | Other (Specify) | OPEN | | | 85 | I can’t remember / Don’t know | EXCLUSIVE | |

Q40 All respondents who code “yes” at Q38, code 1 How was your experience of using The National Archives’ website? Please rate your experience on a scale of 1 to 4, where 1 is very poor and 4 is very good. Please tick one.

SINGLE CODE

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | Very poor | | | | 2 | Poor | | | | 3 | Good | | | | 4 | Very good | | | | 85 | Don’t know | | |

Q41 All respondents who code “yes” at Q38, code 1 Now, thinking about The National Archives’ website, to what extent do you agree with the following statements on scale of 1 to 5, where 1 is strongly disagree poor and 5 is strongly agree. Please tick one response per statement.

SINGLE CODE, GRID RESPONSE, ROTATE STATEMENTS, INCLUDE DK

| Code | Answer list | Scripting notes | Routing | |------|--------------------------------------------------|-----------------|---------| | 1 | The content was relevant to my needs | | | | 2 | I could easily navigate to what I wanted | | | 3 The content was clear and understandable

4 It improved my understanding of what The National Archives can offer to researchers (e.g. training, open access research publications)

Q42 All respondents who code “no” at Q38, code 2 Why have you not used The National Archives’ website in the last 2 years? Please write your response below.

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 1 | OPEN | OPEN | | | 85 | Don’t know | | |

Q43 All respondents How do you think that The National Archives could best communicate with the academic and research communities? Please write suggestions below.

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | 85 | Don’t know | OPEN | EXCLUSIVE |

Q44a All respondents Which of the following do you think would be the best ways for The National Archives to communicate with the academic and research communities? Please select up to three preferences below.

| Code | Answer list | Scripting notes | Routing | |------|-----------------------------------------------------------------------------|-----------------|---------| | 1 | Through The National Archives’ website | | | | 2 | Through social media (e.g. Twitter, Facebook, YouTube etc...) | | | | 3 | Through email newsletters | | | | 4 | Through postal newsletters | | | | 5 | Through events held for academics and researchers at The National Archives | | | | 6 | Through events held for academics and researchers regionally and with partner institutions | | | | 7 | Through in-person visits to | | | Q44b All respondents saying ‘none of these at Q44A, CODE 85) Are there any more appropriate ways in which you feel The National Archives ways should communicate with the academic and research communities? Please write suggestions below.

OPEN

| Code | Answer list | Scripting notes | Routing | |------|-------------|-----------------|---------| | OPEN | OPEN | | | | 85 | No, none | EXCLUSIVE | |

Final question

Q45 All respondents Finally, thinking about The National Archives conducting research. If you could make one recommendation to The National Archives to help them to grow their reputation for conducting research, what would it be? Please write in your response.

OPEN RESPONSE

| Code | Answer list | Scripting notes | Routing | |------|---------------------|-----------------|---------| | 1 | OPEN RESPONSE | OPEN | | | 85 | Don’t know | | |

Many thanks for participating in this survey. The National Archives really appreciate your feedback. Please click here to submit your responses. Contact us...

DJS Research Ltd Sharon Nichols, Research Director Charlotte Sykes, Associate Director Callum McCulloch, Research Executive

&

Elizabeth Oxborrow-Cowan, Director and Consultant Archivist

DJS Research +(0)1663 767 857 snichols@djsresearch.com djsresearch.co.uk